About The Compliance Company

Ian has more than 16 years’ experience in the compliance industry and during that time has become a well-respected member of the finance and insurance sectors.

Ian is a Director at the Association of Professional Compliance Consultants (APCC) and is also the Chairman, he also chairs the joint APCC / FCA working groups on Authorisations and Supervision. He is also a regular speaker at financial and trade association conferences.”

Ian meets regularly with the FCA to discuss how the Association can work with them to improve communication to their members and ultimately to the regulated firms, he also meets with representatives within the FCA’s various teams to promote collaborative thinking and endeavouring to ensure the right balance between compliance and commercial challenges are addressed.

Call Ian on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

David Petty has over 25 years of IT network infrastructure experience and has gained the highest qualifications over this period of time. He also has a solid knowledge of the technological side of compliance and his in-depth understanding of IT allows him to ensure that all our computer systems and network structures are always secure and up to date.

Over the last few years David has also undertaken the responsibility of all marketing and sales activities, developing our marketing strategies in line with our company objectives and co-ordinating our marketing campaigns.

Call David on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

Samantha joined us with extensive experience in operational management. Samantha spent over 5 years at another compliance company which she saw grow from 2 members of staff to nearly 30. Samantha has spent the last 2 years as Head of Operations of a Manchester-based property developer in which Samantha saw a team of 8 expand to a team of over 20.

Having joined us in January 2020 as Group Operations Director, Samantha was appointed Managing Director in July 2020.

Samantha is responsible for driving the business forward and engaging with the team and the wider industry to advance The Compliance Company and our already stellar reputation.

Jourdain is an experienced compliance professional who has assisted a countless number of consumer credit firms navigate through the authorisation process since the FCA assumed regulatory responsibility over consumer credit in 2014. Jourdain has built his compliance expertise from the ground up and uniquely possesses hands-on experience of various areas of regulatory compliance ranging from authorisations, assurance reviews, regulatory reporting and representing firms under FCA supervision.

Since 2014 Jourdain has assisted firms across various sectors including financial services, claims management, data broking, automotive and manufacture meet their obligations under data protection and direct marketing legislation. In the months leading up to the implementation of the GDPR and Data Protection Act 2018, Jourdain pioneered our GDPR assurance and advisory services which included conducting assurance reviews and adequacy assessments of firms’ data protection systems and controls.

Within 6 months of joining The Compliance Company Jourdain, Jourdain leveraged his experience of providing assurance services to CMCs under the Claims Management Regulation Unit’s regulatory regime to setup Claims Management Compliance, a market leading specialist arm of The Compliance Company’s Core Services.

Jourdain heads The Compliance Company’s Advisory Services which supports consumer credit firms meet their regulatory obligations. Jourdain’s track record in consumer credit compliance includes successfully gaining authorisation for complex firms such as loan-based crowdfunding firms, debt management firms, logbook loan providers and high-cost short-term credit firms as well as conducting in-depth assurance reviews. Recent assurance reviews conducted by Jourdain includes at the UK’s leading game retailer and at a French multi-channel retailer that provides running-account credit to its UK customers through its UK domiciled subsidiary. Jourdain’s notable successes includes leading a start-up P2P offering through the authorisation process and securing authorisation for a debt management firm (turning around a minded to refuse position that the applicant firm found themselves in). Jourdain’s recent successes includes securing FCA authorisation for a high-cost short-term credit PCW, a FinTech lender and credit card provider (the latter having engaged our services at the point of receiving a minded to refuse notice) and successfully assisting a high-cost short-term credit provider enhance its systems and controls following FCA supervisory engagement.

Jourdain holds an LLB Law degree from Liverpool University and started his career in the regulated financial services working for Capita Plc as a Graduate Case Handler working on Lloyd’s Banking Group’s dispute resolution cases. Jourdain is passionate about driving quality and best practice in regulatory compliance and represents The Compliance Company at quarterly FCA/APCC meetings and featured, alongside prominent financial services leaders, on the roundtable sessions chaired by the FCA as part of the Woolard Review into change and innovation in the unsecured credit market.

Career

Julia is an experienced compliance professional, having worked for the Claims Management Regulator for 8 years, eventually specialising in Financial Products and Services. Here, Julia developed a good understanding of the Industry and its compliance requirements, engaging and supporting businesses. Julia was on the first team of PPI auditors that became the Financial Services Team and held the post of Senior Claims Management Officer for 4 years.

Since leaving the Claims Management Unit in 2016, Julia has consulted to a number of businesses within the Claims Management Sector and sat, briefly, as Chair of the Executive Board at the Alliance of Claims Companies. In 2018 she helped several Companies implement GDPR standards and took up employment as Head of Compliance at one of the top 5 PPI firms, We Fight Any Claim. Julia specialises in data protection compliance (GDPR and Data Protection Act 2018) as well as direct marketing compliance (Privacy and Electronic Communications (EC Directive) Regulations 2003).

Education and Experience

Julia holds an LLB Law Degree from the University of Derby, where she is based. She was selected to represent the University in the English Speaking Union’s National Mooting Competition. Julia’s experience from her time working for the Claims Management Regulator and knowledge of the FCA’s Claims Management: Conduct of Business Sourcebook (CMCOB) can support businesses through the transfer of Regulation. Julia is well known to, and highly regarded, in the Claims Management Industry.

Call Julia on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

Oliver is an experienced compliance professional who previously worked in an in-house compliance role, and began his career at the FCA. Oliver’s experience at the FCA included working in Retail Lending Supervision where he was primarily responsible for the supervision of the retail lending products of three of the UK’s largest retail banks. Oliver has strong experience scoping and executing supervisory reviews/deep dives and in utilising the regulatory toolkit.

Oliver holds a first class degree from Durham University and has worked in Consumer Credit and Retail Banking financial services since graduation. His experience offers invaluable insight into regulatory expectations and enables him to provide specialist compliance support pre-authorisation to meet the FCA’s Threshold Conditions and post-authorisation to ensure that customers are consistently provided with good outcomes.

Oliver has a proven track record of leveraging his FCA experience to successfully lead a range of complex Consumer Credit firms, including FinTech lenders, through authorisation.

Louise is a Graduate in Law and Business. Her background is in Consumer Protection Law, having worked as a Consumer Advisor and Fair-Trading Officer within Nottingham, Derby and Suffolk County Councils. Louise was contracted to the Claims Management Unit in 2010 when it operated a Consumer Support Team, then later was appointed to the Financial Claims Team. Louise is well versed in Claims Management legislation and has supported a number of Firms over the years in ensuring their compliance with CAPR. Louise was headhunted to join the CMC Team here at The Compliance Company and assist Clients in the transition from the CMR to the FCA.  Since joining the Team, Louise has successfully supported many Firms through the application process.

Jade is an experienced compliance professional having gained nearly a decade’s compliance experience as a Regulatory Consultant. Jades specialties and interests lie within the Data Protection Act and Consumer Credit, though throughout her career she has had exposure to the insurance, mortgage, Peer2Peer and the Pension sector as well as PSD2 and MiFID.

During her career, Jade has successfully aided many firms on the path to gaining FCA authorisation, providing bespoke strategic and operational solutions to a variety of different financial services as well as the implementation of compliance departments, framework and training.

Jade is an active member of the International Compliance Association (ICA) and is currently studying toward their Diploma in Global Governance, Risk and Compliance. The ICA are the leading professional body for the global regulatory financial crime compliance community.

Chris joined The Compliance Company in October 2020 having worked for another compliance consultancy for over 5 years. Chris not only brings a wealth of experience in finding regulatory solutions for a wide variety of firms but also enjoyed a 15-year career in retail banking. This means that Chris has a depth of practical regulatory experience, having occupied roles as a mortgage advisor, commercial lending and insurance advisor.  This industry insight gives Chris the unique position of having worked in roles which must navigate industry regulation.

This experience makes Chris a great asset to have on the team. Chris will be working with clients and key partners to ensure we provide a holistic, expert approach to deliver a service that is second to none.

Helena has worked at Consumer Credit Compliance for over 3 years.  She has an understanding of FCA regulations and consumer credit. She has experience in working in Debt Management, Payment Protection Insurance (PPI) and Individual Voluntary Agreements (IVA).  Her current role is Client Relationship Manager. She is also a key player in business development and sales and marketing.

Her expertise includes over 30 years in health and social care.  She was a former social worker specialising in mental health.  Her expertise includes psychology, sociology, social policy and social work law.  Helena trained as Life Coach with the Coaching Academy in London and mentors those looking for change in their lives.  She  qualified as a reflexologist in 2006.  Her interests are health and fitness, business and personal development and astrology.

Call Helena on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

Amy joined the Compliance Company in January 2019 as the Appointed Representative Network Manager.

Amy is an intelligent, organised and resourceful professional with a finance focused background. Success has been gained through delivering results across a multitude of business areas and every step forward has been the product of striving and succeeding to beat expectations. A focused and organised individual with the ability to multi-task whilst maintaining attention to detail. Applying a logical approach to tasks and challenges coupled with a strong desire to achieve.

Career highlights include:

• Over 12 years’ experience in the Consumer Credit market
• Previously with a specialist Consumer Credit Broker
• Track record includes;
  • Ensuring businesses operate in a compliant manner consistent with regulatory requirements, professional standards and internal policies
  • Reviewing, improving and updating policy and procedure documents including Regulatory Business Plans
  • Assisting with development and implementation of induction and on-going training programs
  • Strong customer service ethic
• Affiliate member of the International Compliance Association (ICA)
• 3 ICA certificates held (completed in 2017)
  • ICA Certificate in Compliance
  • ICA Certificate in KYC and CDD
  • ICA Certificate in Anti Money Laundering

Call Amy on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

Ian joined The Compliance Company  in March 2019 as Lead Auditor and Business Development Manager.

Ian has 30 years’ experience in supporting business with compliance having previously been employed by West Yorkshire Trading Standards Service.

Ian’s previous role included being a regional coordinator for the  11 trading standards authorities within the Yorkshire and Humber region and Ian has represented the region at national level.

Ian is a qualified Lead Auditor and has undertaken multi-disciplined audits in the motor trade, retail sectors as well as undertaking internal quality audits.

Ian also maintained and developed relationships with key external stakeholders and project managed a number of successful externally funded projects.

Call Ian on 01423 522 599 or email us at info@consumercreditcompliance.co.uk.

Jonathan joined The Compliance Company in June 2019. As Regulatory Assistant within the Advisory Services team, Jonathan has worked closely with clients as well as proving support to the team. Jonathan assists firms starting out their journey as regulated business through our authorisation services as well provide consultancy and support to seasoned firms.

As part of the Advisory Services team, Jonathan works with large corporates, SMEs and new start up firms. During summer 2020, Jonathan obtained certification from the International Compliance Association in Compliance becoming a certified compliance professional.

Karen joined The Compliance Company in April 2019. Karen assists our clients with their Regulatory Reporting and standard data changes.

Karen’s experience with FCA online systems has made her a go for all things Connect and Gabriel.